1. MINAMATA CONVENTION ON MERCURY: EMISSIONS AND RELEASES
Legal Assessment Training Module
Natural Resources Defense Council
February 2017
This training module was produced by NRDC, with the financial support of the United Nations Environmental Programme (UNEP). The module describes the relevant obligations of Parties under the Minamata Convention on Mercury, and the legal authorities which may be needed to implement those Convention obligations. It is intended to provide guidance to governments and others undertaking Minamata Convention on Mercury legal capacity assessments (as part of a Minamata Initial Assessment or otherwise). Practical advice regarding Convention preparation and implementation activities is also provided.

2. TRAINING MODULE CONTENTS
ARTICLE 8 (AIR EMISSIONS)
SECTION ONE: FIVE SOURCE CATEGORIES COVERED
Waste Incineration Subcategories
Non-Ferrous Metals
“Relevant Sources” within Categories
New Source Controls
Existing Source Controls
Inventories
Reporting to COP
SECTION ONE SUMMARY: EMISSIONS LEGAL OBLIGATIONS
Preparation/Implementation Considerations
ARTICLE 9 (RELEASES TO LAND AND WATER)
SECTION TWO: RELEASES TO LAND AND WATER
Release Controls
Inventories
Reporting to COP
SECTION TWO SUMMARY: RELEASES LEGAL OBLIGATIONS
Preparation/Implementation Considerations
RESOURCES
This training module covers Articles 8 and 9 of the Convention. The purpose of Article 8 is to control and where feasible reduce mercury emissions to air from five of the most significant source categories identified during the Convention negotiations, as identified in Annex D. The purpose of Article 9 is to control and where feasible reduce mercury releases to land and water from sources not addressed by other provisions of the Convention.
NRDC has produced two other training modules: (1) mercury supply and trade, and artisanal and small-scale gold mining (ASGM) (Articles 3 and 7 of the Convention); and (2) mercury use in products, processes, and associated exemptions (Articles 4-6 of the Convention).
Users of this module should have a copy of the Convention text readily available for easy reference during this training module. The Convention text can be found at A further description and explanation of the Convention text can be found in a Convention Manual co-authored by NRDC, available in English, French, and Spanish at

3. AIR EMISSIONS – FIVE SOURCE CATEGORIES COVERED SECTION ONE
ARTICLE 8 (AIR EMISSIONS)
FIVE SOURCE CATEGORIES COVERED
Waste Incineration Subcategories
Non-Ferrous Metals
“Relevant Sources” within Categories
New Source Controls
Existing Source Controls
Inventories
Reporting to COP
SECTION ONE SUMMARY: EMISSIONS LEGAL
OBLIGATIONS
Preparation/Implementation Considerations
ARTICLE 9 (RELEASES TO LAND AND WATER)
RELEASES TO LAND AND WATER
Release Controls
SECTION TWO SUMMARY: RELEASES LEGAL
RESOURCES
AIR EMISSIONS – FIVE SOURCE CATEGORIES COVERED
SECTION ONE
Coal-fired power plants
Coal-fired industrial boilers
Smelting and roasting processes used in the production of non-ferrous metals
Waste incineration facilities
Cement production facilities
Coal and other fossil fuels contain mercury as a natural impurity. A significant amount of mercury is released into the atmosphere and environment from coal combusted in coal-burning power plants and industrial boilers, mainly due to the volume of coal burnt. Metal ores and limestone also contain naturally occurring mercury, which can be emitted during metal smelting and cement manufacturing, in addition to mercury which may be released from their fuel sources.

4. WASTE INCINERATION SUBCATEGORIES
ARTICLE 8 (AIR EMISSIONS)
FIVE SOURCE CATEGORIES COVERED
WASTE INCINERATION SUBCATEGORIES
Non-Ferrous Metals
“Relevant Sources” within Categories
New Source Controls
Existing Source Controls
Inventories
Reporting to COP
SECTION ONE SUMMARY: EMISSIONS LEGAL
OBLIGATIONS
Preparation/Implementation Considerations
ARTICLE 9 (RELEASES TO LAND AND WATER)
RELEASES TO LAND AND WATER
Release Controls
SECTION TWO SUMMARY: RELEASES LEGAL
RESOURCES
WASTE INCINERATION SUBCATEGORIES
Medical waste
Municipal waste
Hazardous waste
Sewage sludge
Mercury is also emitted to air during the incineration of wastes. Waste incineration facilities includes incinerators that burn hazardous waste, municipal waste, medical waste, and/or sewage sludge. The cement production source category can be expected to cover the co-burning of wastes in cement plants.

5. NON-FERROUS METALS Four identified: — Lead — Zinc — Copper
ARTICLE 8 (AIR EMISSIONS)
FIVE SOURCE CATEGORIES COVERED
Waste Incineration Subcategories
NON-FERROUS METALS
“Relevant Sources” within Categories
New Source Controls
Existing Source Controls
Inventories
Reporting to COP
SECTION ONE SUMMARY: EMISSIONS LEGAL
OBLIGATIONS
Preparation/Implementation Considerations
ARTICLE 9 (RELEASES TO LAND AND WATER)
RELEASES TO LAND AND WATER
Release Controls
SECTION TWO SUMMARY: RELEASES LEGAL
RESOURCES
NON-FERROUS METALS
Four identified:
— Lead
— Zinc
— Copper
— Industrial gold
Smelting/roasting
Annex D defines “non-ferrous metals” as lead, zinc, copper and industrial gold production. Only these four non-ferrous metals are currently regulated. The mining facilities covered in Article 8 are large, industrial operations where mercury is present as an impurity in the mined ore body and can be captured in emission control devices. Artisanal and small-scale gold mining is covered under Article 7. Because roasting and smelting processes involve large amounts of heat, significant amounts of mercury can be emitted during these processes.

6. “RELEVANT SOURCES” WITHIN CATEGORIES
ARTICLE 8 (AIR EMISSIONS)
FIVE SOURCE CATEGORIES COVERED
Waste Incineration Subcategories
Non-Ferrous Metals
“RELEVANT SOURCES” WITHIN CATEGORIES
New Source Controls
Existing Source Controls
Inventories
Reporting to COP
SECTION ONE SUMMARY: EMISSIONS LEGAL
OBLIGATIONS
Preparation/Implementation Considerations
ARTICLE 9 (RELEASES TO LAND AND WATER)
RELEASES TO LAND AND WATER
Release Controls
SECTION TWO SUMMARY: RELEASES LEGAL
RESOURCES
“RELEVANT SOURCES” WITHIN CATEGORIES
There is an option not to cover all sources within a category, but…
75% COVERAGE
OF EMISSIONS
Governments may choose not to regulate every facility within a source category, provided the sources they do regulate account for at least 75% of the emissions within the category. This flexibility may be particularly useful where the country has many sources of varying characteristics within a category. Guidance regarding this option was adopted on a provisional basis at INC 7. See
…the sources regulated must account for at least 75% of the emissions within the category.

7. NEW SOURCE CONTROLS A source is considered “new” when
ARTICLE 8 (AIR EMISSIONS)
FIVE SOURCE CATEGORIES COVERED
Waste Incineration Subcategories
Non-Ferrous Metals
“Relevant Sources” within Categories
NEW SOURCE CONTROLS
Existing Source Controls
Inventories
Reporting to COP
SECTION ONE SUMMARY: EMISSIONS LEGAL
OBLIGATIONS
Preparation/Implementation Considerations
ARTICLE 9 (RELEASES TO LAND AND WATER)
RELEASES TO LAND AND WATER
Release Controls
SECTION TWO SUMMARY: RELEASES LEGAL
RESOURCES
NEW SOURCE CONTROLS
A source is considered “new” when
construction begins one year after the
Convention enters into force for the Party. Deadline for applying controls is five years
after entry into force.
CONTROL OPTIONS:
BAT/BEP
“Consistent” emission limit values (ELVs)
A “new” source is a source where construction begins at least one year after the Convention enters into force for the Party. For guidance on when the Convention comes into force for a government, please go the training module on Supply and Trade/ASGM.
An existing source becomes a new source if it is “substantially modified” at least one year from when the Convention comes into force for the Party. The term “substantial modification” is generally defined as a modification resulting in a significant increase in mercury emissions. Typically, such modifications may include a major expansion in capacity or output.
For “new” sources, Parties must apply best available techniques (BAT) and best environmental practices (BEP) to control emissions, or set emission limit values (ELVs) consistent with BAT, as soon as practicable but no later than five years after the Convention enters into force for that Party. Guidance on defining BAT/BEP and issuing ELVs was provisionally adopted at INC 7. See
Even though compliance with BAT/BEP is not required until five years after the Convention comes into force, the definition of a “new” facility applies to facilities starting construction after just one year. This means that as a practical matter, facilities identified as “new” should be designed, constructed, and operated to meet BAT/BEP from the start.

8. EXISTING SOURCE CONTROLS
ARTICLE 8 (AIR EMISSIONS)
FIVE SOURCE CATEGORIES COVERED
Waste Incineration Subcategories
Non-Ferrous Metals
“Relevant Sources” within Categories
New Source Controls
EXISTING SOURCE CONTROLS
Inventories
Reporting to COP
SECTION ONE SUMMARY: EMISSIONS LEGAL
OBLIGATIONS
Preparation/Implementation Considerations
ARTICLE 9 (RELEASES TO LAND AND WATER)
RELEASES TO LAND AND WATER
Release Controls
SECTION TWO SUMMARY: RELEASES LEGAL
RESOURCES
EXISTING SOURCE CONTROLS
Any source that is not “new” is considered “existing.” There is a 10 year deadline for applying controls to sources.
CONTROL OPTIONS:
a) Quantified goal
b) ELVs
c) BAT/BEP
d) Multi-pollutant control strategy
e) Alternative “reduction” measures
For existing sources, a government may choose among five options to control mercury emissions. The five options specified in the Convention text are:
a) A quantified goal for controlling and, where feasible, reducing emissions from relevant sources;
b) Emission limit values for controlling and, where feasible, reducing emissions from relevant sources;
c) The use of best available techniques and best environmental practices to control emissions from relevant sources;
d) A multi-pollutant control strategy that would deliver co-benefits for control of mercury emissions; and
e) Alternative measures to reduce emissions from relevant sources
A Party may choose different options for each of the five source categories in Annex D, and for individual sources within the source category. Note only the fifth option requires emission “reduction”, while the other options specify “control” (and sometimes reduction “where feasible”). Reduction means overall emissions from the source category should go down, while control means that emissions must be controlled from individual facilities in the category, but overall emissions will not necessarily be reduced. This difference becomes particularly important where many new facilities are constructed within a source category. With an expanded number of facilities, control will not always translate into overall reductions within the source category, even when individual facility emissions are controlled.
The provisionally adopted guidance for defining BAT/BEP and issuing ELVs mentioned above applies to existing facilities as well. The selection of BAT/BEP may differ between new and existing sources. A multi-pollutant control strategy refers to a strategy that takes advantage of optimizing existing air pollution control originally installed to control other pollutants, such as particulate matter, sulfur dioxide (SO2) or nitrogen oxide (NOx), in order to capture mercury as well.

9. Develop emissions inventory
ARTICLE 8 (AIR EMISSIONS)
FIVE SOURCE CATEGORIES COVERED
Waste Incineration Subcategories
Non-Ferrous Metals
“Relevant Sources” within Categories
New Source Controls
Existing Source Controls
INVENTORIES
Reporting to COP
SECTION ONE SUMMARY: EMISSIONS LEGAL
OBLIGATIONS
Preparation/Implementation Considerations
ARTICLE 9 (RELEASES TO LAND AND WATER)
RELEASES TO LAND AND WATER
Release Controls
Inventories
SECTION TWO SUMMARY: RELEASES LEGAL
RESOURCES
INVENTORIES
Guidance for developing and maintaining the emissions inventory was provisionally adopted at INC 7. See
A UNEP toolkit for estimating emissions can be found at the website link on the last slide of this module.
Develop emissions inventory
within five (5) years
Maintain
thereafter

10. REPORTING TO COP Source categories within country
ARTICLE 8 (AIR EMISSIONS)
FIVE SOURCE CATEGORIES COVERED
Waste Incineration Subcategories
Non-Ferrous Metals
“Relevant Sources” within Categories
New Source Controls
Existing Source Controls
Inventories
REPORTING TO COP
SECTION ONE SUMMARY: EMISSIONS LEGAL
OBLIGATIONS
Preparation/Implementation Considerations
ARTICLE 9 (RELEASES TO LAND AND WATER)
RELEASES TO LAND AND WATER
Release Controls
Reporting to COP
SECTION TWO SUMMARY: RELEASES LEGAL
RESOURCES
REPORTING TO COP
Source categories within country
Control measures chosen
Progress/effectiveness
Other details decided at COP 1
Article 8.11 requires each Party to report on the measures it has taken, and the effectiveness of the measures. Some of the reporting details were resolved at INC 7; the remainder will be decided at COP 1.

11. SECTION ONE SUMMARY: EMISSIONS LEGAL OBLIGATIONS
ARTICLE 8 (AIR EMISSIONS)
FIVE SOURCE CATEGORIES COVERED
Waste Incineration Subcategories
Non-Ferrous Metals
“Relevant Sources” within Categories
New Source Controls
Existing Source Controls
Inventories
Reporting to COP
SECTION ONE SUMMARY: EMISSIONS LEGAL
OBLIGATIONS
Preparation/Implementation Considerations
ARTICLE 9 (RELEASES TO LAND AND WATER)
RELEASES TO LAND AND WATER
Release Controls
SECTION TWO SUMMARY: RELEASES LEGAL
RESOURCES
SECTION ONE SUMMARY: EMISSIONS LEGAL OBLIGATIONS 
BAT/BEP or associated ELVs for new facilities
Measure(s) selected to control/reduce mercury emissions from existing sources
Establish/maintain a mercury emissions inventory 
National environmental and air pollution laws are the most like sources of relevant authorities to implement the Article 8 obligations. Facility emissions reporting to facilitate inventories may be covered by release reporting or pollution registry laws. 

12. PREPARATION/IMPLEMENTATION CONSIDERATIONS
ARTICLE 8 (AIR EMISSIONS)
FIVE SOURCE CATEGORIES COVERED
Waste Incineration Subcategories
Non-Ferrous Metals
“Relevant Sources” within Categories
New Source Controls
Existing Source Controls
Inventories
Reporting to COP
SECTION ONE SUMMARY: EMISSIONS LEGAL
OBLIGATIONS
PREPARATION/IMPLEMENTATION
CONSIDERATIONS
ARTICLE 9 (RELEASES TO LAND AND WATER)
RELEASES TO LAND AND WATER
Release Controls
SECTION TWO SUMMARY: RELEASES LEGAL
Preparation/Implementation Considerations
RESOURCES
PREPARATION/IMPLEMENTATION CONSIDERATIONS
“Relevant sources”
Multi-pollutant control strategy
Inventory development
The authority to exclude facilities from regulation may be most useful where a country has many facilities within a source category, but not all contribute significantly to the total emissions from the category. Coal-fired industrial boilers may be such a category in some countries, given the varying degrees in size and equipment.
A multi-pollutant control strategy may be a particularly useful option where governments are considering regulating a source category for a range of pollutants such as particulate matter and sulfur dioxide, not just mercury. By addressing all the pollutants at once, the government can consider the air pollution control equipment necessary to address particulate matter and the other pollutants, determine the level of mercury emission control achievable through this air pollution control equipment and how mercury control performance of the equipment can be optimized, and then evaluate what additional measures or equipment may be required (if any) to achieve the level of mercury control desired.
A tool which may assist governments pursuing this strategy is the Process Optimization Guidance for power plants and its associated software. The link to the website is provided on the last slide of this module.
Governments with many sources may wish to consider developing and maintaining facility electronic reporting capacity, to facilitate the gathering and analysis of the emissions data, and public access to the information.

13. RELEASES TO LAND AND WATER SECTION TWO
ARTICLE 8 (AIR EMISSIONS)
FIVE SOURCE CATEGORIES COVERED
Waste Incineration Subcategories
Non-Ferrous Metals
“Relevant Sources” within Categories
New Source Controls
Existing Source Controls
Inventories
Reporting to COP
SECTION ONE SUMMARY: EMISSIONS LEGAL
OBLIGATIONS
Preparation/Implementation Considerations
ARTICLE 9 (RELEASES TO LAND AND WATER)
RELEASES TO LAND AND WATER
Release Controls
SECTION TWO SUMMARY: RELEASES LEGAL
RESOURCES
RELEASES TO LAND AND WATER
SECTION TWO
Regulates “relevant sources”
Party identifies sectors to regulate, within three years
Under Article 9, each Party must identify and then control “relevant sources” of releases to land and water, defined as significant point sources of mercury releases to land and water that are “not addressed by other provisions of the Convention.” There is no required list of sources like in Article 8, so the sources controlled under Article 9 will vary from country to country. Parties without such significant point sources of mercury releases have no Article 9 obligations.
The Convention does not specify which sources are “not addressed by other parts of the Convention.” However, where other Articles of the Convention expressly require control of releases to land and water, governments may reasonably consider those sources “addressed” by other provisions of the Convention. Examples of such sources may include ASGM sites regulated under Article 7 and Annex C.1(e), and industrial process sites listed in Annex B and controlled under Article 5.5(a). On the other hand, existing primary mercury mines are phased out over 15 years under Article 3, but releases to land and water from such mining sites are not addressed under Article 3 while the mines are in operation.

14. RELEASE CONTROLS Four options: — Release limit values — BAT/BEP
ARTICLE 8 (AIR EMISSIONS)
FIVE SOURCE CATEGORIES COVERED
Waste Incineration Subcategories
Non-Ferrous Metals
“Relevant Sources” within Categories
New Source Controls
Existing Source Controls
Inventories
Reporting to COP
SECTION ONE SUMMARY: EMISSIONS LEGAL
OBLIGATIONS
Preparation/Implementation Considerations
ARTICLE 9 (RELEASES TO LAND AND WATER)
RELEASES TO LAND AND WATER
RELEASE CONTROLS
SECTION TWO SUMMARY: RELEASES LEGAL
RESOURCES
RELEASE CONTROLS
Four options:
— Release limit values
— BAT/BEP
— Multi-pollutant control strategy
— Alternative measures
Same options for new and existing facilities
A Party may apply a similar approach to all relevant sources, or adopt varying approaches for different source categories. “Release limit value” is similar to an emissions limit value, and means a limit on the concentration or mass of mercury or mercury compounds, often expressed as “total mercury”, released from a point source to land or water. The COP is required to develop BAT/BEP guidance for Article 9 at an unspecified time in the future.
The Article 8 and 9 definitions of “new” and “existing” facilities are the same. However, unlike under Article 8, in Article 9, the Convention makes no distinction between new and existing sources in terms of possible control options. Four options can be considered for both new and existing sources.

15. Develop emissions inventory
ARTICLE 8 (AIR EMISSIONS)
FIVE SOURCE CATEGORIES COVERED
Waste Incineration Subcategories
Non-Ferrous Metals
“Relevant Sources” within Categories
New Source Controls
Existing Source Controls
Inventories
Reporting to COP
SECTION ONE SUMMARY: EMISSIONS LEGAL
OBLIGATIONS
Preparation/Implementation Considerations
ARTICLE 9 (RELEASES TO LAND AND WATER)
RELEASES TO LAND AND WATER
Release Controls
INVENTORIES
SECTION TWO SUMMARY: RELEASES LEGAL
RESOURCES
INVENTORIES
As required by Article 9.6, a Party must establish and maintain an inventory of emissions from the relevant sources, as soon as practicable, but no later than 5 years after entry into force of the Convention for that Party.
Develop emissions inventory
within five (5) years
Maintain
thereafter

16. REPORTING TO COP Which sources are regulated Control measures chosen
ARTICLE 8 (AIR EMISSIONS)
FIVE SOURCE CATEGORIES COVERED
Waste Incineration Subcategories
Non-Ferrous Metals
“Relevant Sources” within Categories
New Source Controls
Existing Source Controls
Inventories
Reporting to COP
SECTION ONE SUMMARY: EMISSIONS LEGAL
OBLIGATIONS
Preparation/Implementation Considerations
ARTICLE 9 (RELEASES TO LAND AND WATER)
RELEASES TO LAND AND WATER
Release Controls
REPORTING TO COP
SECTION TWO SUMMARY: RELEASES LEGAL
RESOURCES
REPORTING TO COP
Which sources are regulated
Control measures chosen
Progress/effectiveness
Article 9.8 requires each Party to report on the measures it has taken, and the effectiveness of the measures. Some of the reporting details were resolved at INC 7; the remainder will be decided at COP 1.

17. SECTION TWO SUMMARY: RELEASES LEGAL OBLIGATIONS
ARTICLE 8 (AIR EMISSIONS)
FIVE SOURCE CATEGORIES COVERED
Waste Incineration Subcategories
Non-Ferrous Metals
“Relevant Sources” within Categories
New Source Controls
Existing Source Controls
Inventories
Reporting to COP
SECTION ONE SUMMARY: EMISSIONS LEGAL
OBLIGATIONS
Preparation/Implementation Considerations
ARTICLE 9 (RELEASES TO LAND AND WATER)
RELEASES TO LAND AND WATER
Release Controls
SECTION TWO SUMMARY: RELEASES LEGAL
RESOURCES
SECTION TWO SUMMARY: RELEASES LEGAL OBLIGATIONS
Identify relevant sources
Measure(s) selected to control/reduce mercury releases
Establish/maintain a mercury releases inventory   
National environmental and water pollution laws are the most like sources of relevant authorities. Facility release reporting to facilitate inventories may be covered by release reporting or pollution registry laws.

18. PREPARATION/IMPLEMENTATION CONSIDERATIONS
ARTICLE 8 (AIR EMISSIONS)
FIVE SOURCE CATEGORIES COVERED
Waste Incineration Subcategories
Non-Ferrous Metals
“Relevant Sources” within Categories
New Source Controls
Existing Source Controls
Inventories
Reporting to COP
SECTION ONE SUMMARY: EMISSIONS LEGAL
OBLIGATIONS
Preparation/Implementation Considerations
ARTICLE 9 (RELEASES TO LAND AND WATER)
RELEASES TO LAND AND WATER
Release Controls
SECTION TWO SUMMARY: RELEASES LEGAL
PREPARATION/IMPLEMENTATION
CONSIDERATIONS
RESOURCES
PREPARATION/IMPLEMENTATION CONSIDERATIONS
Identifying relevant sources
Inventory development/maintenance
In considering which sectors warrant controls on releases to land and water, Parties may wish to consider the quantities of mercury currently released, and the potential for human exposure to such releases. Releases contributing to elevated levels of mercury in fish and other food sources may warrant Article 9 controls.
Governments with many sources may wish to consider developing and maintaining facility electronic reporting capacity, to facilitate the gathering and analysis of the releases data, and public access to the information.

19. ARTICLE 8 (AIR EMISSIONS)
FIVE SOURCE CATEGORIES COVERED
Waste Incineration Subcategories
Non-Ferrous Metals
“Relevant Sources” within Categories
New Source Controls
Existing Source Controls
Inventories
Reporting to COP
SECTION ONE SUMMARY: EMISSIONS LEGAL
OBLIGATIONS
Preparation/Implementation Considerations
ARTICLE 9 (RELEASES TO LAND AND WATER)
RELEASES TO LAND AND WATER
Release Controls
SECTION TWO SUMMARY: RELEASES LEGAL
RESOURCES
RESOURCES
UNEP Global Mercury Assessment: Sources, Emissions, Releases and Transport
UNEP Toolkit for Identification and Quantification of Mercury Releases
UNEP Process Optimization Guidance